The settlement was part of a broader crackdown by regulators in five states on insurers who allegedly failed to make death benefit payouts on a timely basis.
Finra said the adviser misled five IRA customers and then did not give an honest account of his actions.
How does the presidential candidate's guidance compare to actual market performance?
News that donations attached to the icy deluges helped in discovering a gene linked to ALS exemplifies the importance of progress reports for philanthropic clients.
There already have been several suits over high fees, and a second front may be emerging over plan options.
The bill also addresses training for advisers on how to spot elder financial abuse.
Charitable donations reached $373.25 billion in 2015, according to Giving USA.
Bad VA switches were supposed to be a thing of the past, but the independent broker-dealer industry should take heed of this fine.
Stark differences include one presidential candidate who seeks to raise income taxes on the wealthiest Americans while the other would cut them across the board.
Failure to follow the applicable rules can turn into a public enforcement action.
Regulator seeking common-sense changes to gift and non-cash comp rules for members.
Most 'elite' advisers are looking to grow through personalized service to ultra-wealthy and institutional clients.
The generation's reputation for hopping jobs and shunning stocks doesn't match new 401(k) data from Fidelity Investments.
Firms embracing automated advice are positioning themselves to capture new client segments. By 2018, nearly one-third of registered investment advisers will have a robo-offering.
Consultant says transactions for large planning practices bodes well for any size firm looking to sell.
Firms reluctant to sell now may struggle later to find a merger partner to survive.
Valuing Mr. Ali's image rights, inheritance tax on property and the will's treatment of his nine children are a few potential estate quirks that could come up.
